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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

NEWFLEET ASSET MANAGEMENT, LLC

CRD 104532

HARTFORD, CT

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Search this name across graphsid dfx:ria:6df9af44-c6ed-b18e-edf6-bfb52e79e008

Data as of Mar 31, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 35
Dated events: 3
On other graphs: 0
Observed: Dec 22, 2011 to Mar 31, 2022
25 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $10BItem 5.F on the latest filing (2022-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $10B
Private client RAUM: $7.7MderivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 28
Advisory employees: 25
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 26
Individual clients: 0
High net worth clients: 1
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $475Mgross asset value as reported per fund; never fund size
SEC number: 801-51559
CRD: 104532
Filings on the tape: 25
First filed: Dec 22, 2011
Latest filed: Mar 31, 2022
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
CALDECOTT CDO 1 LTD.	Securitized Asset Fund	$249,999	Jan 16, 2020	0	Mar 10, 2018	dropped	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ALBRYCHT, DAVID, LEON	PRESIDENT AND CHIEF INVESTMENT OFFICER	Na	yes	06/2011	Dec 22, 2011	Mar 31, 2022
ANGERTHAL, MICHAEL, AARON	EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER	Na	yes	06/2011	Dec 22, 2011	Mar 31, 2022
AYLWARD, GEORGE, ROBERT	CHIEF EXECUTIVE OFFICER	Na	yes	06/2011	Dec 22, 2011	Mar 31, 2022
HILLS, WENDY, JACQUELINE	EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY	Na	yes	09/2019	Oct 15, 2019	Mar 31, 2022
VIRTUS INVESTMENT PARTNERS, INC.	INDIRECT SHAREHOLDER	E	yes	11/2008	Dec 22, 2011	Mar 31, 2022
VIRTUS PARTNERS, INC.	DIRECT OWNER	E	yes	05/2005	Dec 22, 2011	Mar 31, 2022
WALTMAN, FRANCIS, GEORGE	EXECUTIVE VICE PRESIDENT	Na	yes	06/2011	Mar 28, 2013	Mar 31, 2022
SENA, JAMES, ROBERT	CHIEF COMPLIANCE OFFICER	Na	no	01/2020	Jan 16, 2020	Mar 31, 2022
SOLLICITO, MICHAEL, NMN	CHIEF OPERATING OFFICER	Na	no	03/2013	Mar 31, 2015	Mar 31, 2022

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
VIRTUS INVESTMENT ADVISERS, INC.	n/a	Asset manager	$52B	N	yes	n/a
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC	n/a	Mixed wealth	$39B	N	yes	n/a
SEIX INVESTMENT ADVISORS LLC	n/a	Other adviser	$35B	N	yes	n/a
SUSTAINABLE GROWTH ADVISERS, LP	n/a	Asset manager	$17B	N	yes	n/a
STONE HARBOR INVESTMENT PARTNERS, LLC	n/a	Former SEC adviser	$15B	N	yes	n/a
DUFF & PHELPS INVESTMENT MANAGEMENT CO.	n/a	Asset manager	$13B	N	yes	n/a
CEREDEX VALUE ADVISORS LLC	n/a	Other adviser	$3.4B	N	yes	n/a
SILVANT CAPITAL MANAGEMENT LLC	n/a	Asset manager	$3.0B	N	yes	n/a
NFJ INVESTMENT GROUP, LLC	n/a	Asset manager	$3.0B	N	yes	n/a
WESTCHESTER CAPITAL MANAGEMENT, LLC	n/a	Asset manager	$2.9B	N	yes	n/a
VIRTUS FUND ADVISERS, LLC	n/a	Other adviser	$1.5B	N	yes	n/a
VIRTUS ETF ADVISERS LLC	n/a	Other adviser	$1.4B	N	yes	n/a
VIRTUS ALTERNATIVE INVESTMENT ADVISERS, INC.	n/a	Asset manager	$1.1B	N	yes	n/a
SEIX CLO MANAGEMENT LLC	n/a	Asset manager	$336M	N	yes	n/a
WESTCHESTER CAPITAL PARTNERS, LLC	n/a	Asset manager	$34.2M	N	yes	n/a
STONE HARBOR INVESTMENT PARTNERS (UK) LLP	n/a	n/a	n/a	N	yes	n/a
STONE HARBOR INVESTMENT PARTNERS LIMITED	n/a	n/a	n/a	N	yes	n/a
STONE HARBOR INVESTMENT PARTNERS PTE. LTD.	n/a	n/a	n/a	N	yes	n/a
VP DISTRIBUTORS LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 31, 2022	$10B	$10B	28	25	0	2	$475M
2020	Mar 31, 2021	$10B	$10B	31	27	0	2	$475M
2019	Mar 31, 2020	$11B	$11B	31	27	0	2	$562M
2018	Mar 29, 2019	$10B	$10B	32	24	0	3	$623M
2017	Mar 29, 2018	$12B	$12B	34	26	0	3	$623M
2016	Mar 30, 2017	$12B	$12B	37	26	n/a	n/a	n/a
2015	Mar 30, 2016	$11B	$11B	35	27	n/a	n/a	n/a
2014	Mar 31, 2015	$13B	$13B	38	27	n/a	n/a	n/a
2013	Mar 26, 2014	$12B	$12B	26	23	n/a	n/a	n/a
2012	Mar 28, 2013	$11B	$11B	26	23	n/a	n/a	n/a
2011	Mar 30, 2012	$8.5B	$8.5B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$10B	$10B	-0.4%	$10B	-1.0%	28	31	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
VIRTUS INVESTMENT ADVISERS, LLC	2	Apr 1, 2016	Aug 10, 2016	HARTFORD, CT	Channel change	Other	5.4%

Relationships

Affiliated with (22)

← STONE HARBOR INVESTMENT PARTNERS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ VIRTUS INVESTMENT ADVISERS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ DUFF & PHELPS INVESTMENT MANAGEMENT CO.Registered adviserother investment adviser, common control
factForm ADV
→ VIRTUS CAPITAL ADVISERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ SUSTAINABLE GROWTH ADVISERS, LPRegistered adviserother investment adviser, common control
factForm ADV
→ WESTCHESTER CAPITAL PARTNERS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ STONE HARBOR INVESTMENT PARTNERS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ VIRTUS ALTERNATIVE INVESTMENT ADVISERS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ CEREDEX VALUE ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ SILVANT CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ VIRTUS FIXED INCOME ADVISERS, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ WESTCHESTER CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ VIRTUS ADVISERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ SEIX CLO MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ NFJ INVESTMENT GROUP, LLCRegistered adviserother investment adviser, common control
factForm ADV
← RAMPART INVESTMENT MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
← VIRTUS RETIREMENT INVESTMENT ADVISERS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← ZWEIG ADVISERS LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← EUCLID ADVISORS LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← CLIFFWATER INVESTMENTS LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← NEWFOUND INVESTMENTS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV

Controls (7)

← ALBRYCHT, DAVID, LEONOwnerPRESIDENT AND CHIEF INVESTMENT OFFICER, ownership code NA, individual
Dec 22, 2011 to presentfactForm ADV
← WALTMAN, FRANCIS, GEORGEOwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Mar 28, 2013 to presentfactForm ADV
← HILLS, WENDY, JACQUELINEOwnerEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY, ownership code NA, individual
Oct 15, 2019 to presentfactForm ADV
← AYLWARD, GEORGE, ROBERTOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Dec 22, 2011 to presentfactForm ADV
← ANGERTHAL, MICHAEL, AARONOwnerEXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER, ownership code NA, individual
Dec 22, 2011 to presentfactForm ADV
← VIRTUS INVESTMENT PARTNERS, INC.OwnerINDIRECT SHAREHOLDER, ownership code E, domestic entity
Dec 22, 2011 to presentfactForm ADV
← VIRTUS PARTNERS, INC.OwnerDIRECT OWNER, ownership code E, domestic entity
Dec 22, 2011 to presentfactForm ADV

Owns (2)

← SENA, JAMES, ROBERTOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 16, 2020 to presentfactForm ADV
← SOLLICITO, MICHAEL, NMNOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 31, 2015 to presentfactForm ADV

Registered with (2)

← PAUL Glynn PRIVITERAAdvisorregistration: previous registration
Aug 10, 2016 to Jul 14, 2022factForm ADV
← DAVID CARLETON MITCHELLAdvisorregistration: previous registration
Aug 10, 2016 to Dec 21, 2021factForm ADV

Advises (1)

→ CALDECOTT CDO 1 LTD.Private fundSecuritized Asset Fund, IA, no longer reported
Mar 10, 2018 to Jan 16, 2020factForm ADV

Moved with (1)

← VIRTUS INVESTMENT ADVISERS, LLCRegistered adviser2 advisors, team lift out, same day
Apr 1, 2016 to Aug 10, 2016factForm ADV

Dated events

Occurred
Oct 15, 2019
Control person joined
Jacqueline Wendy Hills (Executive Vice President, General Counsel And Assistant Secretary) appeared on Schedule A of Newfleet Asset Management, Llc
Form ADVobserved 4 days ago
Occurred
Jul 30, 2019
Control person left
Stephen Mark Flynn (Executive Vice President And General Counsel) no longer on Schedule A of Newfleet Asset Management, Llc (listed 2019-03-29, absent 2019-07-30)
Form ADVobserved 4 days ago
Occurred
Dec 22, 2011
Succession filed (Item 4)
Newfleet Asset Management, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6df9af44-c6ed-b18e-edf6-bfb52e79e008
First observed: Dec 22, 2011
Last observed: Mar 31, 2022 54 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

NEWFLEET ASSET MANAGEMENT, LLC

CRD 104532

HARTFORD, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6df9af44-c6ed-b18e-edf6-bfb52e79e008

Data as of Mar 31, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:38 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

CALDECOTT CDO 1 LTD.

Securitized Asset Fund

$249,999

Jan 16, 2020

Mar 10, 2018

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALBRYCHT, DAVID, LEON

PRESIDENT AND CHIEF INVESTMENT OFFICER

yes

06/2011

Dec 22, 2011

Mar 31, 2022

ANGERTHAL, MICHAEL, AARON

EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER

yes

06/2011

Dec 22, 2011

Mar 31, 2022

AYLWARD, GEORGE, ROBERT

CHIEF EXECUTIVE OFFICER

yes

06/2011

Dec 22, 2011

Mar 31, 2022

HILLS, WENDY, JACQUELINE

EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND ASSISTANT SECRETARY

yes

09/2019

Oct 15, 2019

Mar 31, 2022

VIRTUS INVESTMENT PARTNERS, INC.

INDIRECT SHAREHOLDER

yes

11/2008

Dec 22, 2011

Mar 31, 2022

VIRTUS PARTNERS, INC.

DIRECT OWNER

yes

05/2005

Dec 22, 2011

Mar 31, 2022

WALTMAN, FRANCIS, GEORGE

EXECUTIVE VICE PRESIDENT

yes

06/2011

Mar 28, 2013

Mar 31, 2022

SENA, JAMES, ROBERT

CHIEF COMPLIANCE OFFICER

01/2020

Jan 16, 2020

Mar 31, 2022

SOLLICITO, MICHAEL, NMN

CHIEF OPERATING OFFICER

03/2013

Mar 31, 2015

Mar 31, 2022

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

VIRTUS INVESTMENT ADVISERS, INC.

n/a

Asset manager

$52B

yes

n/a

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

n/a

Mixed wealth

$39B

yes

n/a

SEIX INVESTMENT ADVISORS LLC

n/a

Other adviser

$35B

yes

n/a

SUSTAINABLE GROWTH ADVISERS, LP

n/a

Asset manager

$17B

yes

n/a

STONE HARBOR INVESTMENT PARTNERS, LLC

n/a

Former SEC adviser

$15B

yes

n/a

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

n/a

Asset manager

$13B

yes

n/a

CEREDEX VALUE ADVISORS LLC

n/a

Other adviser

$3.4B

yes

n/a

SILVANT CAPITAL MANAGEMENT LLC

n/a

Asset manager

$3.0B

yes

n/a

NFJ INVESTMENT GROUP, LLC

n/a

Asset manager

$3.0B

yes

n/a

WESTCHESTER CAPITAL MANAGEMENT, LLC

n/a

Asset manager

$2.9B

yes

n/a

VIRTUS FUND ADVISERS, LLC

n/a

Other adviser

$1.5B

yes

n/a

VIRTUS ETF ADVISERS LLC

n/a

Other adviser

$1.4B

yes

n/a

VIRTUS ALTERNATIVE INVESTMENT ADVISERS, INC.

n/a

Asset manager

$1.1B

yes

n/a

SEIX CLO MANAGEMENT LLC

n/a

Asset manager

$336M

yes

n/a

WESTCHESTER CAPITAL PARTNERS, LLC

n/a

Asset manager

$34.2M

yes

n/a

STONE HARBOR INVESTMENT PARTNERS (UK) LLP

n/a

yes

n/a

STONE HARBOR INVESTMENT PARTNERS LIMITED

n/a

yes

n/a

STONE HARBOR INVESTMENT PARTNERS PTE. LTD.

n/a

yes

n/a

VP DISTRIBUTORS LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 31, 2022

$10B

$475M

2020

Mar 31, 2021

$10B

$475M

2019

Mar 31, 2020

$11B

$562M

2018

Mar 29, 2019

$10B

$623M

2017

Mar 29, 2018

$12B

$623M

2016

Mar 30, 2017

$12B

n/a

2015

Mar 30, 2016

$11B

n/a

2014

Mar 31, 2015

$13B

n/a

2013

Mar 26, 2014

$12B

n/a

2012

Mar 28, 2013

$11B

n/a

2011

Mar 30, 2012

$8.5B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$10B

-0.4%

$10B

-1.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

VIRTUS INVESTMENT ADVISERS, LLC

Apr 1, 2016

Aug 10, 2016

HARTFORD, CT

Channel change

Other

5.4%